Overview

Associate Director / Senior Compliance Manager within the Capital Markets Compliance team for RBCCM Europe, with responsibility for supporting the Head of Global Investment Banking, Control Room and Research Compliance Advisory (Europe) in relation to all Private Side and Research Advisory activities in respect of RBC Europe Limited and RBC London Branch. RBC's expectation is that from mid-September 2025, all employees and contractors will work in the office with some flexibility to work up to 1 day per week remotely, depending on working arrangements.

Responsibilities

• Undertake any tasks as may be required in respect of Control Room activities including but not limited to clearance of Research escalations, maintenance of Watch & Restricted Lists, deal updates, Information Barrier management, UK Takeover Panel disclosures.
• Maintain policies and procedures to address identified regulatory risks, developing a detailed knowledge of applicable regulations, best practices and relevant internal RBC policies and procedures.
• Devise and deliver Compliance training.
• Conduct monitoring activities in line with the team's monitoring framework.
• Keep abreast of relevant regulatory developments, assess their impact and issue guidance to the front office as required.
• Review breaches of policy and assess the appropriate outcome within the firm's breach framework.
• Undertake ad-hoc assignments as required.

Qualifications

• Excellent written and verbal communication skills.
• Relevant Compliance experience handling Private Side & Research Compliance queries.
• Knowledge of primary and secondary UK financial services legislation.
• Knowledge of Investment Banking businesses.
• Ability to challenge the front line, where appropriate, and handle difficult conversations.
• Ability to work well in a team and build relationships at all levels of the bank.
• Aptitude for accuracy, attention to detail and proactive approach.

Benefits

• Comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation.
• Leaders who support your development through coaching and managing opportunities.
• Opportunities to work with the best in the field.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• A world-class training program in financial services.
• Flexible working options fully supported.